Soreide Law Group is currently investigating potential claims on behalf of individuals who have suffered losses invested with registered broker and investment adviser, Brian M. Wurdemann (CRD#: 4206425, New York, NY). Notably, Wurdemann worked with RBC Capital Markets LLC in New York, NY from May 4, 2017, to May 5, 2022, and with UBS Financial […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have sustained financial losses involving Timothy John Melvin (also known as Tim Melvin) (CRD: 2967309, Springboro, Ohio). Melvin was previously registered as both a financial advisor and a broker. Evidently, he was affiliated with Horace Mann Investors, Inc. from February 6, 1998, […]

Soreide Law Group is currently investigating potential claims on behalf of investors who sustained financial losses through Philip Paul Wright (CRD: 2453688, Eden Prairie, Minnesota). Wright worked for BrokerBank Securities, Inc. from May 20, 2004, to March 30, 2021. Specifically, FINRA expelled BrokerBank Securities on August 18, 2023. Notably, Wright has been subject to various […]

Soreide Law Group is actively investigating potential claims on behalf of investors who may have sustained losses because of securities broker Dorinda Lynn Lumpkin (also known as Dorinda Lynn Bludsworth) (CRD: 5687234, Gadsden, Alabama). Specifically, Lumpkin worked for BBVA Securities Inc. from October 10, 2013, to July 6, 2020. Notably, the Financial Industry Regulatory Authority […]

Investor At MML Alleges Sales Practice Violation By Broker Curt Giacobbe Soreide Law Group provides you with new information concerning securities broker Curt Giacobbe (CRD#: 2682776, Melville, New York). Notably, Financial Industry Regulatory Authority BrokerCheck shows that investors filed disputes about the securities broker, who worked for securities firm MML Investors Services from 2012 to […]

JOHN WILLIAM SPACH CRD#: 2731192, formerly with Kestra Investment Services of Aliso Viejo, California, was barred on February 21, 2019, by the Financial Industry Regulatory Authority, Inc. (FINRA) for failing to respond to FINRA’s request for information during an investigation of a client complaint. According to FINRA, without admitting or denying the findings, Spach consented […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” William Earl Manley (CRD #1177744, Registered Representative, Sarasota, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Manley consented to the described sanction and to the entry of findings that he […]

  Corey Lamar Battey (CRD #4123425, Registered Representative, Clermont, Florida) was fined $5,000 and has ben suspended from association with any FINRA member in any capacity for six months. This fine will be due and payable if and when Battey re-enters the securities industry. These sanctions were based on FINRA's findings that Battey failed to respond to […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Paul Cragg Larsen (CRD #1066833, Registered Representative, Naples, Florida) and   Quentin Marius Silic (CRD #4222363, Registered Representative, Naples, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which they were each barred from association with any FINRA member in […]